| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
PRERNA TRUST
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF (PIT) REGULATIONS, 2015 IN MATTER OF UNISYS SOFTWARE & HOLDING INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(2A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF (PIT) REGULATIONS, 2015 IN MATTER OF UNISYS SOFTWARE & HOLDING INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
22-OCT-2020
|
SEBI VIDE ITS ORDER DATED 09/09/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 18/03/2025 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 09/09/2021
SEBI VIDE ITS ORDER DATED 18/03/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.3993 OF 2021 DATED 16/07/2021
|
| 222 |
|
|
PRIYANKA VINYAS TRUST
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF (PIT) REGULATIONS, 2015 IN MATTER OF UNISYS SOFTWARE & HOLDING INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(2A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF (PIT) REGULATIONS, 2015 IN MATTER OF UNISYS SOFTWARE & HOLDING INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
22-OCT-2020
|
|
| 223 |
|
|
PUNJAB MERCANTILE & TRADERS LTD.
(PAN:AAACP0228J)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO EXTEND EXIT OFFER FOR THREE MONTHS FROM DATE OF SETTLEMENT ORDER BY ISSUANCE OF INDIVIDUAL NOTICES,
UNDER SPEED POST, DIRECTLY TO THE REMAINING PUBLIC SHAREHOLDERS OF COMBINE HOLDING LTD. AT THE SAME EXIT PRICE AS WAS OFFERED IN 2019 IN RESPECT OF PUNJAB MERCANTILE & TRADERS LTD.)
07-SEP-2022
|
|
| 224 |
|
|
PUNJAB MERCANTILE & TRADERS LTD.
(PAN:AAACP0228J)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 225 |
|
|
QUANTLASE LAB LLC
|
|
|
|
AJAY BHATIA
PAN:AAMPB2104N
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ADANI GREEN ENERGY LTD., ADANI ENTERPRISES LTD. AND ADANI TRANSMISSION LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ADANI GREEN ENERGY LTD., ADANI ENTERPRISES LTD. AND ADANI TRANSMISSION LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,04,87,903, DISGORGEMENT AMOUNT RS.55,34,457, INTEREST RS.9,58,902 VIDE CONSENT ORDER)
16-SEP-2025
|
|
| 226 |
|
|
QUANTUM SECURITIES PVT.LTD.
(PAN:AAACQ0160C)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 AND REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NEW DELHI TELEVISION LTD.
|
DIRECTED TO DISGORGE RS.2,20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 27-NOV-2020 TO 26-NOV-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-NOV-2020
|
SAT: SAT VIDE ITS ORDER DATED 10/12/2020 ALLOWED THE URGENCY APPLICATION AND IN THE MEANTIME, EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED TO BE STAYED UPON DEPOSIT OF RS.1 CRORE WITH RESPONDENT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 02/02/2021 DIRECTED APPELLANT TO FILE THEIR REJOINDER AFFIDAVITS WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND MATTER TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 24/02/2021
|
| 227 |
|
|
QUICK DEVELOPERS PVT.LTD.
(PAN:AAACQ2182N)
|
|
|
|
AMIT GARG
PAN:AAJPG0015G
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT AND REGULATION 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PC JEWELLER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-MAY-2021 TO 10-MAY-2023
17-DEC-2019
|
SEBI VIDE ITS ORDER DATED 11/05/2021 DIRECTED TO RESTRAIN FROM BUYING, SELLING OR DEALING IN THE SECURITIES OF PC JEWELLER LTD., DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TWO YEARS, FROM DATE OF THIS ORDER
|
| 228 |
|
|
QUICK DEVELOPERS PVT.LTD.
(PAN:AAACQ2182N)
|
|
|
|
AMIT GARG
PAN:AAJPG0015G
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT AND REGULATION 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PC JEWELLER LTD.
|
IMPOSED PENALTY RS.20,00,000
11-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 21/05/2021 DISPOSED OFF THE URGENCY APPLICATION AND ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED RESPONDENT TO SUPPLY A CERTIFIED COPY OF IMPUGNED ORDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND DIRECTED APPELLANT TO DEPOSIT 50% AMOUNT WITHIN THREE WEEK FROM DATE OF THIS ORDER
|
| 229 |
|
|
QUICK DEVELOPERS PVT.LTD.
(PAN:AAACQ2182N)
|
|
|
|
AMIT GARG
PAN:AAJPG0015G
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT AND REGULATION 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PC JEWELLER LTD.
|
DIRECTED TO DISGORGE RS.2,13,23,162 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 11-MAY-2021 TO 11-MAY-2022
17-DEC-2019
|
SEBI VIDE ITS ORDER DATED 11/05/2021 DIRECTED TO RESTRAIN FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY, A SUM OF RS. 2,13,23,161.64 IMPOUNDED BY IMPOUNDING ORDER PASSED IN THE PRESENT MATTER AND THE SAME SHALL BE CREDITED TO THE INVESTOR PROTECTION AND EDUCATION FUND (IPEF)
|
| 230 |
|
|
QUICK TRADING & NVESTMENT ADVISORS LLP
(PAN:AAAFQ5700B)
|
|
|
|
VIPUL J.MODI
PAN:AABPM1417A
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,27,50,000, DISGORGEMENT AMOUNT RS.38,30,000 VIDE CONSENT ORDER)
10-JUN-2022
|
|
| 231 |
|
|
QUINLINE DEALCOMM PVT.LTD.
(PAN:AAACQ0498B)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.54,60,000, DISGORGEMENT AMOUNT RS.15,67,500, INTEREST RS.6,69,429 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 20-FEB-2025 TO 19-AUG-2025
20-FEB-2025
|
|
| 232 |
|
|
RAJAT COMMERCIAL ENTERPRISES PVT.LTD.
(PAN:AABCR5631E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NOUVEAU GLOBAL VENTURES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NOUVEAU GLOBAL VENTURES LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992, READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATION, 2015 IN MATTER OF NOUVEAU GLOBAL VENTURES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF NOUVEAU GLOBAL VENTURES LTD.
|
IMPOSED PENALTY RS.2,00,000
21-JUN-2021
|
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY OF 62 DAYS IN FILING OF APPEAL AND REDUCED PENALTY AMOUNT TO RS.2 LAC FROM RS.3 LAC TO BE PAID WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 233 |
|
|
RAJESH GUPTA (HUF)
(PAN:AAGHR4685G)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.5,00,000
19-JUN-2023
|
|
| 234 |
|
|
RAJULA FINANCE LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ARROW SECURITIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 12(2)(B) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARROW SECURITIES LTD.
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2017
|
|
| 235 |
|
|
RAKESH RAJENDRA BHOJGADHIYA (HUF)
(PAN:AARHR3479R)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF POONAWALLA FINCORP LTD. (PREVIOUSLY KNOWN AS MAGMA FINCORP LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,29,27,852 VIDE CONSENT ORDER)
17-MAY-2023
|
|
| 236 |
|
|
RAKESH RAJENDRA BHOJGADHIYA (HUF)
(PAN:AARHR3479R)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MAGMA FINCORP LTD. (NOW KNOWN AS POONAWALLA FINCORP LTD.)
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-SEP-2021 UNTIL FURTHER ORDERS
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 15-SEP-2021 UNTIL FURTHER ORDERS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.8,32,80,941 ALONG WITH OTHER ENTITIES/PERSONS
15-SEP-2021
|
SEBI VIDE ITS ORDER DATED 28/03/2022 A) DIRECTED TO RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES DIRECTLY OR INDIRECTLY IN ANY MANNER, WHATSOEVER UNTIL FURTHER ORDERS AND DIRECTIONS ISSUED VIDE ITS INTERIM ORDER STAND MODIFIED TO THE EXTENT OF ALLOWING CREDIT AND DEBIT OF SECURITIES IN THE ACCOUNTSB) CLARIFIED THAT RESTRAINT RELATED TO BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN RESPECT OF PFL (MAGMA) WOULD NOT PROHIBIT THE CREDIT OF SHARES TO RECEIVED ON ACCOUNT OF STOCK OPTION, BONUS ETC. ISSUED BY THE COMPANYC) CLARIFIED THAT THE FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT WILL REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 22/06/2023 REVOKED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 15/09/2021 AND CONFIRMATORY ORDER DATED 28/03/2022
|
| 237 |
|
|
RAKSHIT MAHENDRABHAI SHAH (HUF)
(PAN:AATHS7311D)
|
|
|
EXECUTED CONTRA TRADE WITHIN SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSE 10 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF VEERAM SECURITIES LTD. (FORMERLY KNOWN AS “VEERAM ORNAMENTS LTD.”)
|
IMPOSED PENALTY RS.5,00,000
11-JAN-2023
|
SAT: SAT VIDE ITS ORDER DATED 29/03/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER TWO WEEKS THEREAFTER. DIRECTED THAT NO RECOVERY TO BE MADE PURSUANT TO IMPUGNED ORDER DURING PENDENCY OF THE APPEALS
SAT: SAT VIDE ITS ORDER DATED 15/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/07/2023 ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
|
| 238 |
|
|
RAKSHIT MAHENDRABHAI SHAH (HUF)
(PAN:AATHS7311D)
|
|
|
EXECUTED CONTRA TRADE WITHIN SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSE 10 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF VEERAM SECURITIES LTD. (FORMERLY KNOWN AS “VEERAM ORNAMENTS LTD.”)
|
DIRECTED TO DISGORGE RS.19,98,000
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2023 TO 10-JAN-2024
11-JAN-2023
|
SAT: SAT VIDE ITS ORDER DATED 29/03/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER TWO WEEKS THEREAFTER. DIRECTED THAT NO RECOVERY TO BE MADE PURSUANT TO IMPUGNED ORDER DURING PENDENCY OF THE APPEALS
SAT: SAT VIDE ITS ORDER DATED 15/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/07/2023 ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
|
| 239 |
|
|
RANCHHODDAS MOHOTA (HUF)
(PAN:AABHR4714H)
|
|
|
DID NOT EXECUTE TRADE AS PER TRADING PLAN VIOLATING REGULATION 5(4) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MOHOTA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
24-FEB-2022
|
|
| 240 |
|
|
REFEX INDUSTRIES LTD.
|
|
|
|
ANIL T.JAIN
PAN:AADPA8582A
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF REFEX INDUSTRIES LTD.
|
IMPOSED PENALTY RS.10,00,000
12-DEC-2025
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 12 of 18
|
